AC
Adam D. Conway
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Newark, OH 43055
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CRD#: 3120544
AC
Professional summary
Adam Douglas Conway is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Newark, Ohio and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Newark, Ohio.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Adam has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 02/2006, AS ADVISORY REP OF A RIA, INV REL, 40 HR/MO 40 HR/MO TRADING 2) THE PHARMACIST PODCAST, 348 GRANVILLE ST E GAHANNA OH, 10/2021, OWNER, PODCAST HOST, USING TRADE NAME/DBA, NIR, 10 HR/MO 10 HR/MO TRADING 3) ADAM CONWAY, 2888 CLARK STATE CROSSING BLACKLICK OH, 04/2022, AUTHOR, NIR, 5 HR/MO 5 HR/MO TRADING 4) PHARMACIST FINANCE, 348 GRANVILLE ST E GAHANNA OH, 07/2022, 1099 CONTRACTOR, FINANCIAL PLANNING, INV REL, 40 HR/MO 20 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Adam Douglas Conway's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 2, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1473 Granville Rd, Newark, OH 43055RIA
CRD#: 134139
Newark, OH
Current
January 1, 2006 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1473 Granville Rd., Newark, OH 43055BD
CRD#: 39543
Newark, OH
Past
May 17, 1999 - January 25, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
May 17, 1999 - January 25, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
October 15, 1998 - March 23, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/2/2014)
RR
Arkansas(5/2/2014)
RR
California(2/1/2006)
RR
Colorado(7/5/2006)
RR
Connecticut(2/1/2006)
RR
District of Columbia(2/23/2018)
RR
Florida(2/1/2006)
RR
Georgia(2/1/2006)
RR
Illinois(5/2/2014)
RR
Indiana(2/1/2006)
RR
Kansas(8/3/2016)
RR
Kentucky(2/1/2006)
RR
Louisiana(1/2/2009)
RR
Maryland(2/1/2006)
RR
Michigan(2/1/2006)
RR
Minnesota(12/11/2014)
RR
Mississippi(5/2/2014)
RR
Missouri(2/1/2006)
RR
Montana(3/3/2021)
RR
Nebraska(9/29/2006)
RR
Nevada(1/19/2010)
RR
New Jersey(2/1/2006)
RR
New York(7/5/2006)
RR
North Carolina(7/27/2006)
RR
Ohio(2/2/2006)
IAR
Ohio(2/2/2006)
RR
Oklahoma(7/26/2022)
RR
Pennsylvania(2/1/2006)
RR
South Carolina(2/1/2006)
RR
Tennessee(1/25/2022)
RR
Texas(2/1/2006)
IAR
Texas(7/11/2016)
RR
Utah(9/29/2006)
RR
Virginia(2/1/2006)
RR
Washington(2/1/2006)
RR
West Virginia(2/1/2006)
RR
Wisconsin(4/22/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
